The Federal Government faces strong lobbying from financial planning organisations to ensure that the new single disciplinary body does not become yet another impost on a...

The proposal to have financial advisers registered under the new disciplinary regime will seek a fee and the registration will need to be renewed annually. ...

The Financial Adviser Standards and Ethics Authority will cease to exist under legislation from 1 January, next year, but its actions, including the code of ethics, will ...

The Federal Court says James Mawhinney, or entities controlled by him, has a high likelihood to engage in similar conduct if not prevented by the court from doing so, fol...

Proceedings have commenced against Lightspeed Finance and its director, Mark Fitzpatrick, over failure to comply with Australian Financial Complaints Authority determinat...

Civil penalties totalled $159.8 million during the second half of 2020 for the corporate regulator including seven Royal Commission investigations that totalled $77.65 mi...

Outsider chuckled when he read that Australian Securities and Investments Commission executives paid $33,000 to a team-building consultancy....

The relief measure allowing advisers to provide a record of advice rather than a statement of advice to clients that needed advice due to the impact of COVID-19 has been ...

Responding to adviser submissions, the Australian Securities and Investments Commission has confirmed it is considering providing regulatory relief so that advisers can p...

Advisers have made it clear to the Australian Securities and Investments Commission that digital advice should not be counted as a big factor in its review of affordable ...

Two further companies connected to SMSF Advisory Services and PW Kitt Co have been ordered to wind up after a successful application from the corporate regulator....

Faced with rebuilding its management culture in the wake of the expenses controversy surrounding its chairman and deputy chairman, the Australian Securities and Investmen...

Goldsky director, Kenneth Grace, has been charged with operating a financial services business without a licence and engaging in dishonest conduct....

Licensees are responsible for notifying the corporate regulator that their advisers have completed the exam, however finding whether an adviser has passed isn’t easily ac...